Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Eduardo Andrew Martinez | 5950799 | 4 | 06/23/2021 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Matthew J Smith | 6112937 | 1 | 06/14/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 05/18/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Terri Emira Jones | 6709092 | 1 | 05/14/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mariana Ng Meyerson | 5459629 | 1 | 05/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Richard Bottini | 5567091 | 2 | 05/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Valente Orozco-Villasenor | 7159427 | 1 | 04/11/2021 | Customer Dispute | Settled | $11,279.00 | $0.00 | See FINRA Report |
| Murray C Kinlaw | 6112978 | 1 | 03/31/2021 | Customer Dispute | Settled | $2,212.21 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 03/15/2021 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 03/11/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |